DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

B••••• S•••••

W••••• E••••••••• A••••••• S•••••••• L••BD affiliatedPlymouth, Mn IA-onlyIAPD 7126082

Feed of 09/14/2026

Also filed as B••••• S•••••

At current firm

0 y

since Jan 5, 2026

In the industry

11 y

since Aug 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated current
since Jan 5, 2026 · Plymouth, Mn
S•••••••• L•• independent RIA
Apr 14, 2022 to Jul 30, 2024 · Foster City, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Sep 15, 2020 to Jan 10, 2022 · San Francisco, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 18, 2019 to Aug 10, 2020 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

S•••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••
left Jul 30, 2024, registered Jan 5, 2026 (524 days) · RIA to affiliated broker-dealer or bank
F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• L••
left Jan 10, 2022, registered Apr 14, 2022 (94 days) · Affiliated broker-dealer or bank to independent RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Aug 10, 2020, registered Sep 15, 2020 (36 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team

Signals

B••••• S••••• left S•••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2026-01-05)
Jul 30, 2024 · Advisor changed firm · fact
B••••• S••••• left F••••••• P••••••• A•• W•••••••• A••••••• for S•••••••• L•• (registered 2022-04-14)
Jan 10, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address